Tag Archives: Sharon Fall

LPL Financial LLC Stockbroker Barred In Investigation

May 06, 2016  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Sharon Fall, of Annapolis, Maryland, a stockbroker with LPL Financial LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that she failed to cooperate in a FINRA investigation into allegations that she engaged in the unauthorized borrowing of funds from firm customers. […]

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